Regulatory Alerts2017-01-23 | 2017-01232Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse Actions
The Commodity Futures Trading Commission proposes technical amendments to its regulations governing the registration and review of exchange disciplinary, access denial, and other adverse actions. The amendments integrate existing advisory guidance, incorporate swap execution facilities alongside designated contract markets, and update cross-references to deleted regulations. Additionally, the proposal requires exchanges to publish final disciplinary actions on their websites and codifies the delegation of notice-filing responsibilities to the National Futures Association.
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